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AB

Alan L. Bagwell

PROVIDENCE WEALTH ADVISORS
Huntsville, AL
Some features on this profile are disabled
CRD#: 4815554
AB

Professional summary

Alan Lee Bagwell is a registered financial advisor currently at PROVIDENCE WEALTH ADVISORS, LLC located in Huntsville, Alabama.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Alan has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 24 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Providence Wealth Advisors, LLC-Non Investment Related; Mr. Alan Bagwell, CPA spends approximately 5 hours per week on accounting and tax return preparation activity with some during security trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Lee Bagwell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 22, 2018 - Present

PROVIDENCE WEALTH ADVISORS, LLC

RIA
CRD#: 292109
Huntsville, AL
Past

February 22, 2018 - January 8, 2018

PROVIDENCE WEALTH ADVISORS, LLC

RIA
CRD#: 292109
HUNTSVILLE, AL
Past

February 16, 2006 - January 16, 2018

KEEL POINT, LLC

RIA
CRD#: 127902
HUNTSVILLE, AL
Past

November 2, 2004 - December 10, 2018

KEEL POINT CAPITAL, LLC

BD
CRD#: 6769
HUNTSVILLE, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Alabama
(2/22/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/13/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/28/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 7/15/2004
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

PW
PROVIDENCE WEALTH ADVISORS, LLC
PROVIDENCE WEALTH ADVISORS, LLC

CRD#: 292109 / SEC#:

Alabama
Registered Investment Advisory firm - (2/22/2018 Approved)
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Contact information

Main Address
Huntsville, AL
Mailing Address
Phone number
(256) 213-7738
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts81
AUM (Assets Under Management)$ 40,701,465

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PROVIDENCE WEALTH ADVISORS, LLC

CRD#: 292109Huntsville, AL

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